DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
S••••• • J•••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2012 · 27 filings
SEC status approved since Apr 9, 1999
RAUM
$429M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$385M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$215M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$429M as of Mar 27, 2026
Mar 30, 2012$171M then
HNW client RAUM$375M as of Mar 27, 2026
Mar 29, 2018$208M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 30, 20120 then
Employees (5.A)5 as of Mar 27, 2026
Apr 1, 20133 then
Private funds: no history
RAUM -24% over the last fiscal year+8.7% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $215MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -24%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $62.8M, 32 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$375M87%
- Corporations and businesses$26.3M6.1%
- Charitable organizations$14.8M3.4%
- Individuals$9.5M2.2%
- Insurance companies$3.9M0.9%
- Individual clients
- 23reported
- HNW clients
- 137reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 231reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $62.8M for 32 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• E••••• J•••••Certified Financial Planner, Chartered Financial Analyst | Nashville, Tn | Sep 11, 2023 | 36 y | 3 |
| T••••• W••• C•••••• | Nashville, Tn | Jan 1, 2025 | 31 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- W•••••• E••••• J••••• from A••••• P••••• G••••• L••Sep 11, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• T•••••• W••• · Secretarycontrolsince 01/2005 · owns less than 5%
- J•••••• W••••••• E••••• · Co-Presidentcontrolsince 08/2023 · owns 50% to 75%
- S•••••• J•••••••• A•••• · Co-President, Chief Compliance Officercontrolsince 09/1994 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Nashville, Tn · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 250 to 231Mar 25, 2025 to Mar 27, 2026
- HNW clients · 150 to 137Mar 25, 2025 to Mar 27, 2026
- Individual clients · 20 to 23Mar 25, 2025 to Mar 27, 2026
- Assets in custody · $75.1M to $62.8MMar 25, 2025 to Mar 27, 2026
- State-registered IARs · 3 to 2Mar 25, 2025 to Mar 27, 2026
- Discretionary RAUM · $562M to $429MMar 25, 2025 to Mar 27, 2026
- HNW RAUM · $495M to $375MMar 25, 2025 to Mar 27, 2026
- Individual RAUM · $8.9M to $9.5MMar 25, 2025 to Mar 27, 2026
- RAUM · $562M to $429MMar 25, 2025 to Mar 27, 2026
- Accounts · 239 to 250Jun 17, 2024 to Mar 25, 2025
- Advisory employees · 3 to 4Jun 17, 2024 to Mar 25, 2025
- Corporate clients · 10 to 9Jun 17, 2024 to Mar 25, 2025
- HNW clients · 126 to 150Jun 17, 2024 to Mar 25, 2025
- Individual clients · 21 to 20Jun 17, 2024 to Mar 25, 2025
- Assets in custody · $56.5M to $75.1MJun 17, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Jun 17, 2024 to Mar 25, 2025
- Discretionary RAUM · $483M to $562MJun 17, 2024 to Mar 25, 2025
- HNW RAUM · $421M to $495MJun 17, 2024 to Mar 25, 2025
- Individual RAUM · $10.0M to $8.9MJun 17, 2024 to Mar 25, 2025
- RAUM · $483M to $562MJun 17, 2024 to Mar 25, 2025
- Accounts · 133 to 239Aug 31, 2023 to Mar 28, 2024
- Advisory activities · 2 to 3Aug 31, 2023 to Mar 28, 2024
- Business name · S••••• • C• L•• to S••••• • J•••••• L••Aug 31, 2023 to Mar 28, 2024
- Corporate clients · unset to 10.0Aug 31, 2023 to Mar 28, 2024
- HNW clients · 117 to 126Aug 31, 2023 to Mar 28, 2024
- Individual clients · 8 to 21Aug 31, 2023 to Mar 28, 2024
- Assets in custody · $23.1M to $56.5MAug 31, 2023 to Mar 28, 2024
- Employees · 4 to 5Aug 31, 2023 to Mar 28, 2024
- Financial planning clients · unset to 0Aug 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $334M to $483MAug 31, 2023 to Mar 28, 2024
- HNW RAUM · $293M to $421MAug 31, 2023 to Mar 28, 2024
- Individual RAUM · $1.1M to $10.0MAug 31, 2023 to Mar 28, 2024
- RAUM · $334M to $483MAug 31, 2023 to Mar 28, 2024
- Legal name · S••••• • C• L•• to S••••• • J•••••• L••Aug 15, 2023 to Aug 31, 2023
- Advisory employees · 2 to 3Mar 29, 2023 to Aug 15, 2023
- Employees · 3 to 4Mar 29, 2023 to Aug 15, 2023
- State-registered IARs · 2 to 3Mar 29, 2023 to Aug 15, 2023
- Accounts · 128 to 133Mar 30, 2022 to Mar 29, 2023
- HNW clients · 113 to 117Mar 30, 2022 to Mar 29, 2023
- Individual clients · 6 to 8Mar 30, 2022 to Mar 29, 2023
Signals
2 dated events
- S••••• • J•••••• L•• reported RAUM $483.0M, up 45% from $334.3M (2023-08-31 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Edward William Jacobs (Co-President) appeared on Schedule A of S••••• • J•••••• L••Aug 15, 2023 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 615-250-1600reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 615/250-1600reportedpublic record, Form ADV, Mar 27, 2026
- Team page
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $215Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026